SYNOPSIS SOLICITATION DTFT60-10-R-00009
Added: Oct 20, 2010 11:41 am STATE MANAGEMENT REVIEW PROGRAM DESCRIPTION/SPECIFICATION/WORK STATEMENT TASK 1 - State Management Review ToolboxThe contractors will be selected to provide staff and other ancillary resources to assist FTA in revising and updating the following program tools to include updated FTA guidance, policies, operating procedures, etc. •· State Management Review Contractor's Guide: Annually, the Contractors will provide FTA technical assistance to update the State Management Review Contractor's Guide and provide 5 copies to FTA for distribution. The State Management Review Contractor's Guide is designed to serve as a guide for Contractors who conduct state management reviews. The guide shall include tee major sections:•§ Part I includes an overview of the state management review process. This introductory section discusses the steps in conducting the documenting the review.•§ Part II provides detailed guidance for reviewers. There is a section for each of the 27 state management review areas. Each review area includes a summary of the basic requirement and identifies the specific requirements to be examined. The state management review questions are then listed. Each question or group of questions is followed by an explanation of FTA's requirements; the reason for the question, citing the statutory, regulatory, or administrative source document; sources of information the reviewers should access during the desk review and site; the determination, or what constitutes a deficiency; and suggested corrective actions.•§ Part III includes a copy of the state management review worksheets for the fiscal year. The worksheets list the questions to be answered tough the desk review and site visit, the deficiency codes to be used in the event of a finding and sources of documentation for each area.This guide provides an overview of FTA requirements. The Contractor's guide is not a substitute for statutes, regulations, or FTA circulars, but is a portable summary for the reviewer's use, particularly during a site visit.The Guide will be produced on CDs and distributed to other oversight Contractors, the regional offices and Headquarters.•· State Management Review Workshop Workbook: Annually, the Contractor will provide FTA with technical assistance to update 150 Workshop Workbooks for distribution annually to participants at the designated State Management Review Workshops.The workbook provides an overview of FTA's planning, financial, administrative, procurement and operational requirements. Detailed information on these requirements is found in FTA Circulars, Office of Management and Budget (OMB) Circulars, and the Code of Federal Regulations (CFR). This workbook does not substitute for those authoritative documents, but does provide a quick reference tool for major provisions. The workbook is a useful and readily usable tool to assist States in grant management and adherence to FTA policies and requirements.The workbook will be organized into subsections for the 19 state management review areas. Each review area will include a summary of the basic requirement and will identify the specific requirements to be examined. Detailed references also will be included. The workbook will include the typical questions asked by the state management reviewers. Each question or group of questions will be followed by an explanation, a brief citation of the reason for the question, a discussion of the sources of information that should be maintained by a State, the determination that is made by the reviewers as a result of the questions and typical suggested corrective actions that a State should take or would be required to take if deficiencies were identified by FTA.The workbook will include the presentation used during the workshop as well as resources such as sample applications, sample progress reports, the Annual List of Certifications and Assurances, the FTA's Master Agreement, a glossary of FTA terms, a list of resources available on the internet and any other information that FTA deems necessary for inclusion. An HTML version of the Workbook will be prepared for uploading on the FTA website.The lead contractor shall also assist FTA in posting the State Management Review Workshop Workbook and State Management Review Toolkit on FTA website with appropriate and updated links. •· State Program Managers Guide on Administration and Oversight of FTA Grant Programs Annually, the Contractors will provide FTA technical assistance to update the State Program Managers Guide on Administration and Oversight of FTA Grant Programs and provide 5 copies to FTA for distribution. The State Program Managers Guide on Administration and Oversight is designed to serve as a guide for State Program Managers' administration of FTA grants programs. TASK 2 - State Management, Tribal Transit, and ARRA Review ReportsThe State Management Review is one of the FTA's management tools for examining States performance and adherence to current FTA requirements and policies. It examines how recipients of federally funded transit programs meet statutory and administrative requirements, especially those that are included in the Annual Certifications and Assurances that grantees submit. The review currently examines 27 separate areas. In addition to helping evaluate States, the review gives FTA an opportunity to provide technical assistance on the latest FTA requirements and aids FTA in reporting to the Secretary, Congress, other oversight agencies and the transit community on the federally funded transit programs. While FTA staff has the ultimate responsibility for the state management review, Contractors have assisted the regional staff in conducting state management reviews in previous years. FTA Regional Administrators are responsible for organizing the state management review process. Contractors work closely with the State Management Review Coordinators in each region. The Contractor conducts desk reviews, which include interviewing FTA regional staff to gain an understanding of the State; prepares an agenda package and the transmittal letter, and is responsible for contacting the State, making arrangements for the site visit, conducting the site visit and preparing the draft and final reports. Monitoring, follow-up and close-out of open findings are the responsibility of the regional office staff, primarily the State Management Review Coordinators. The Contractors will assist the regional staff in these activities as directed. For the first year of the contract, the Contractors will deliver 22 standard and combined Triennial Review/State Management Review (TR/SMR) reports in the designated Regions. The Preliminary List of States for FY2011 State Management Review Program is attached in Section J. This work is in support of the stated requirement and objective. In subsequent years, the Contractor(s) may deliver up to 25 state management, tribal transit, and ARRA review reports during a calendar year based on previous year's performance of all CLINs which will be negotiated and awarded on a FFP basis within the pre-established NTE. The Contractors will coordinate its review activities with the regional offices and States as described in the Contractor's Guide. Each state management review report will consist of the following activities: Conduct the desk review - The Contractors will conduct a desk review as described in the current State Management Review Contractor's Guide. The Contractors will review documentation on file in the regional office and work with the regional staff to identify any specific issues. The Contractors will record information as necessary using the State Management Review worksheets provided with the Contractor's guide. Information to be reviewed in the regional office may include, but not be limited to: •· TEAM system data to obtain information on open grants, including budgets, balances remaining, disbursement activity and financial status and progress reports;•· Certifications and Assurances;•· Civil Rights files•· Audit reports, if available, including any pertinent Government Accountability Office (GAO) or Office of Inspector General (OIG) audits;•· Planning files, including key documents and results of the Planning Certification Review•· National Transit Database correspondence;•· Any complaints on file regarding civil rights, American with Disabilities Act (ADA) compliance, charter bus service, school bus service;•· Buy America waiver requests;•· Prior SMR reports, findings, and files, and•· Other oversight reports and findings (such as Financial Management Oversight reports, Procurement System Reviews, etc). Schedule the site visit - The site visit will be conducted as described in the current State Management Review Contractor's Guide. During the desk review, the Contractor will work with the regional staff to identify a convenient date for the site visit. The site visit duration will be two to five days for a standard review, tribal transit review or ARRA review and up to five days for combined review of State Management and Triennial Review. Prepare the agenda package - The Contractors will prepare an agenda package as described in the current State Management Review Contractor's Guide. The agenda package will be provided to the regional office electronically. The agenda package will be sent to the State or Tribe by the region and will provide detailed information regarding the site visit. This agenda package will include a preliminary site visit schedule, information regarding the State or Tribe profile, a list of documents required for the review and the questions that remain to be answered. The agenda package should be sent at least 8 weeks prior to the site visit to allow time for the State or Tribe to gather the requested documentation, prepare written answers to the questions and send the materials, as available, to the review team. Contact the grantee - The Contractors will maintain contact with the State or Tribe as described in the current State Management Review Contractor's Guide. The Contractors should telephone the State about seven to 14 days after the regional office sends the agenda package. At a minimum, this contact should introduce the reviewer(s) who will conduct the review, confirm that the agenda package arrived and answer any questions about the items to be reviewed. Review State or Tribe input and prepare draft report - as described in the current State Management Review Contractor's Guide, the Contractor will examine the materials and written answers to the questions after receiving the State's or Tribe's input. The contractor will provide extensive technical assistance during the site visit. This assistance will include the sharing of best practices. The Contractors will conduct follow-up with the State or Tribe on any outstanding items. After all the input provided by the State is reviewed, the Contractors will begin preparing the draft report. Finalize site visit schedule - The Contractors will finalize the site visit schedule as described in the current State Management Review Contractor's Guide. The schedule should include a list of State/Contractor facilities to be visited after reviewing the State's input. Any areas that do not require follow-up need not be discussed further during the site visit. The Contractors also may indicate to the State and its sub-recipients which procurements have been selected for examination during the site visit. This final schedule will be developed in consultation with the regional staff and sent to the State or Tribe at least seven days before the site visit date. Conduct the site visit - The Contractors should conduct the site visit as described the current State Management Review Contractor's Guide. The Contractors should act with professionalism and courtesy at all times. The site visit will include the following activities: entrance conference, discussion of each review area, visit facilities and examine State and its sub-recipients, or Tribe records as necessary. The regional staff may participate in one or more of these activities. Once these activities are completed, the Contractors will complete the draft report. Prepare the draft report - The draft report will be prepared according to the current State Management Review Contractor's Guide. The Contractors will follow regional office preferences for issuing the draft report (e.g., attaching a transmittal letter). The draft report should be prepared in consultation with the regional staff. The region should approve the draft report before it is issued. The site visit will conclude with an exit conference and the presentation of the draft report. The State or Tribe will have seven days to review the draft report and provide comments to the region. The regional will have another seven days to prepare comments for the review team. Within 14 days of the site visit, the regional office should submit comments on the draft report to the Contractors. The Contractors will transmit an electronic copy of the draft report to the regional office immediately following the site visit. Prepare input for the final report - The final report will be prepared according to the current State Management Review Contractor's Guide. The Contractors will prepare input for the final report not less than 21 days following the site visit. The Contractors should consult with the regional staff on how each comment from the grantee will be addressed in the final report. The input for the final report will be transmitted to the regional office electronically. The Regional Administrator will transmit the final report to the grantee within 30 days of the site visit. The Contractors will upload the final report to the grantee's folder on the TEAM system. Input findings in OTRAK - OTRAK data entry will be performed according to the current State Management Review Contractor's Guide. The Contractors will enter all findings from the review into OTRAK, FTA's electronic oversight tracking system. The findings from each state management, tribal transit/ or ARRA review should be entered into OTRAK within 30 days of the submission of the final report. Finalize worksheets and sources of documentation - The Contractors will document the review as described in the current State Management Review Contractor's Guide. Once the final report is issued, the Contractors will finalize the worksheets and sources of documents for the review and submit these files electronically to the regional office. The file should be submitted no later than 30 days following the submission of the final report. The worksheets and sources of documents also should be uploaded to the grantee's folder on the TEAM system. Closeout Findings- the Contractors will provide technical assistance to the regions as described in the current State Management Review Contractor's Guide. The technical assistance should assist the regions in meeting the performance requirement of closing state management review findings no later than 30 days after their response due date. The Contractors will close as many state management, tribal transit or ARRA review findings as possible on-site and will follow up on findings for closure for up to 90 days after the site visit. The combined TR/SMR review report will include combined review elements from the Triennial Review and State Management Review. Since there are overlapping review elements between the two reviews, the total review elements will not exceed 23 pertinent grants management areas. The process and activities in delivering a combined TR/SMR report is similar to the delivery of a standard SMR report as previous outlined. The Contractors will coordinate with the Regional SMR coordinator on conducting and delivering this report. The contractor shall provide an opinion, using their best professional judgment, whether the grantee is striving to come into full compliance with federal law, rules and regulations. TASK 3- Program Reports and Monthly Progress ReportsThe Contractors will prepare the program reports and monthly progress reports. •· Program Monthly Performance Reports: A lead contractor will be selected annually to provide FTA assistance in collecting and analyzing information from OTRAK, the regions and related program deliverables to prepare annually 12 program monthly performance reports. The purpose of these reports is to assist FTA in tracking performance against its annual strategic program goals. For example, in previous years FTA had program goals of closing 80 percent of the oversight review findings not more than 30 days after their due date and issuing not less than 100 percent of the final oversight review reports within 30 days of the site visit exit conference. The Program Monthly Performance Reports shall include: Summary of Findings - A summary of open and closed state management review findings by region. The report will include the following information: •§ Number of total findings•§ Number of closed findings•§ Percentage of findings closed within 30 days of their due date•§ Number of open findings•§ Number of findings open that are within the performance period, and•§ Number of findings open that are 30 or more days past their due date. Reports Summary - A summary of pending and completed state management review final reports by region. The report will include the following information: •§ Total reviews planned•§ Total reviews conducted•§ Number of final reports issued•§ Number of final reports pending•§ Status of final reports issued and pending•Ø Number issued within 30 days of the site visit•Ø Number issued within 60 days of the site visit•Ø Number issued more than 60 days after the site visit•§ Percentage of reports issued within 30 days of the site visit Trends Analysis•§ Identification and comparison of trends using data from the previous two years.•§ Identification/illustration of the percentage of findings by area. •· Program Summary Reports: A lead contractor will be selected annually to provide FTA assistance in collecting and analyzing information from the regions and other state management review deliverables and information systems in the preparation of the (1) mid-year and the (1) year-end state management review program summary reports as directed by the COTR. Each report may include information such as: summary of findings open and closed; number of findings by review area; top five areas of findings; and trend of findings by year. In addition to the above, the Contractor may need to assist in assembling information from the TEAM and OTRAK system. The management summary reports will include recommendations to improve the state management review process. While performing state management reviews, the contractor shall continuously note and evaluate the state management review process and make recommendations to FTA regarding changes that would improve the review process. This evaluation may also include a review of the regional state management review process and recommendations to improve specific operations. FTA will use the Contractor input to conduct its own evaluation of the review process and the development of recommendations concerning state management review improvements. •· Program Deliverables Compact Disc (CD): A lead contractor will be selected annually to provide FTA assistance in collecting information from the regions and other state management review deliverables in compiling an (1) annual CD library of reviews and program related deliverables. The CD will organize the reports by region. The Contractor will also provide a directory of the States whose final reports are contained on the CD along with the file name for each report. The Contractor will use a standard file naming convention that will incorporate the State's region and organization's name into the file name. TASK 4- State Management Review Workshops and State Programs MeetingA lead contractor will be selected annually to provide FTA logistical and technical support in conducting and hosting the State Management Review Workshops. •· State Management Review Workshops: A lead contractor will be selected annually to assist FTA in conducting the up to six selected nationwide locations State Management and Tribal Transit Review Workshops. These workshops are for transit professionals responsible for program management or managing federally funded projects and professionals responsible for planning or managing transit service or compliance programs - both supervisors and program specialists. The workshops are designed to help attendees broaden their understanding of the Federal rules and regulations that shape and define their programs. It is anticipated that up to six workshops will be held annually at the following locations: Boston, MA, New York, NY, Philadelphia, PA, Atlanta, GA, Chicago, IL, Fort Worth, TX, Kansas City, MO, Denver, CO, Los Angeles, CA, San Francisco, CA, Seattle, WA and Washington, D.C. The Tribal Transit Review workshops will be held in locations, to be determined, that are convenient to the tribes. The Contractor shall provide logistical and technical support in conducting these workshops, as directed. Instructors. The Contractor will provide from one up to four persons to present sections of the workshop and to assist States and tribes when not making a presentation. The workshops will require a minimum of two full days on site plus travel. Travel will be to workshop locations and to Washington, D.C. The Contractor personnel will assist in the preparation of the presentation materials and their content, assist with logistics (e.g., registering State, tribe and sub-recipient personnel, distributing handout materials, etc.), make themselves available to answer attendees' questions during breaks, etc., and coordinate their own activities with FTA and other Contractor personnel. Workshop Materials. The Contractor will be responsible for the preparation of all handout materials for the workshop. These will include, but not be limited to: •§ Workshop workbooks- See CLIN 0001•§ Agendas•§ Copies of the viewgraphs•§ Pre-seminar assessments•§ Post seminar assessments The Contractor will tabulate seminar assessments and evaluations and will provide the results of these tabulations to the COTR. Logistical Support. The Contractor will be responsible for the logistical planning of each workshop. These activities will include: •§ Preparation of the announcement brochure;•§ Attendee registration and follow-up;•§ Scheduling and contracting hotel arrangements;•§ Hotel services including refreshments;•§ Logistical support during the workshops; and•§ Preparing certificates of workshop completion. The Contractor will make arrangements for all audio-visual equipment necessary for each workshop. Each workshop is attended by 30 - 40 people. TASK 5- Oversight Program Support (OPS) and Special Assignments The Contractors shall perform the following activities as directed: Oversight Program Support•§ The Contractors may also be directed by the COTR to attend FTA's Annual Oversight Meeting at selected location in Washington, DC. The Contractors may be asked to present information during the Oversight Meeting as well as participate in panel discussions and breakout sessions. •§ The Contractors shall attend and participate in any and all FTA orientation or annual program kick-off meeting and periodic progress briefings to become familiar and/or to maintain a level of proficiency consistent with program requirements.•§ The Contractors may also need to attend, interact and present findings, trends, etc., with the other oversight Contractors, grantees, and FTA representatives during the State Programs Meeting and other FTA sponsored meetings as directed.•§ Program knowledge sharing by actively participating in knowledge sharing activities such as posting program related information at a designated online site; present lessons learned at periodic progress and annual meetings. •§ The FTA has contracted for a comprehensive study of its oversight program processes and procedures. The results of this study will be incorporated into this contract, as appropriate, at FTA direction.•§ The Contractors may need to prepare briefings, presentations, etc., which reflect a suitable level of understanding based on the Contractor's experience and practices to date in conducting state management reviews.•§ The Contractors will provide assistance on special projects in connection with the State Management Review Program. These may include, but may not be limited to, technical assistance or staging informational sessions with the regional office staff and grantees, development of informational materials including audio visuals or overhead projections, workbooks, manuals, pamphlets or oral presentations. The Contractors will also provide assistance to the regions with data to be entered into OTRAK. The Contractors are required to provide all resources necessary to perform all Special Assignments. •· Special AssignmentsThe Oversight Office is responsible for ensuring that grantees comply with requirements related to grant development, administration and management activities. Under this program the Contractor shall provide technical assistance for addressing those issues which may not be specifically related to the programs described above; issues which may arise out of requirements recently enacted in the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109-59; or issues related to management and tracking of oversight programs. The Contractors shall perform the following activities as directed: •§ Provide assistance for detailed and crosscutting analysis of OTRAK performance data•§ Provide assistance for detailed and crosscutting analysis of TEAM System data•§ Provide assistance for developing oversight strategies for new grant programs authorized in SAFETEA-LU. For example,•Ø 5303 Metropolitan & Statewide Planning•Ø 5307 Large Urban Cities•Ø 5308 Clean Fuels Grant Program•Ø 5309 Bus and Bus Facilities•Ø 5310 Formula Program - Elderly and Individuals with Disabilities•Ø 5311 Formula Program - Rural Transit•Ø 5311 Public Transportation on Indian Reservations•Ø 5313 Transit Cooperative Research Program•Ø 5316 Formula Program - JARC•Ø 5317 Formula Program - New Freedom•Ø Over-the-Road Bus (OTRB) Accessibility Program•Ø Alternative Transportation in Parks and Public Lands (ATPPL)•§ Provide assistance for developing oversight requirements for FTA-funded programs that are administered by other federal agencies, such as including the Federal Emergency Management Agency (FEMA), the Federal Highway Administration (FHWA), and the Department of Homeland Security.•§ Assist FTA with Special Projects (e.g., developing and reviewing procedural improvements to programs and developing informational materials including, audiovisuals or overhead projections)•§ Provide technical assistance to FTA, its grantees and other Federal agencies (e.g., FEMA) in emergency response situations (e.g., Hurricanes Katrina and Rita)Note: Work orders will be issued within the NTE hours for this CLIN. The COTR will issue these work orders. TASK 6- Monthly Progress Reports (NSP)The Contractors shall use standard management procedures in developing and submitting to FTA annually 12 monthly progress reports. The Contractors will prepare monthly progress/status to be submitted to the COTR. The reports will include, but not be limited to:•· Milestone chart for each task with a description of the status and an explanation for any slips in the schedule; •· Budget progress report including travel expenses; •· A description of all work completed in the previous month; •· A narrative of the work scheduled for the next month; •· Identification of all problems encountered and a description of corrective measures; •· A list of all tasks begun; •· A list of problem areas; and, •· Any items requiring COTR/FTA action. The progress reports will be delivered to the COTR by the 10th of the following month for the prior month's activities. TASK 7- Travel A NTE amount of $125,000 is established for travel each year. The Contractors shall obtain approval from the COTR before incurring any such costs and provide detailed travel expenses in its monthly invoices.Travel and per diem, if authorized under this contract, shall be reimbursed in accordance with the Government Travel Regulations currently in effect. Current per diem rates are listed at http://www.gsa.gov/Portal/gsa/ep/contentView.do?contentId=17943&contentType=GSA_BASIC. Travel requirements under this contract shall be met using the most economical form of transportation available. If economy class transportation is not available, the request for payment voucher must be submitted with justification for use of higher class travel indicating dates, times, and fight numbers. All travel shall be scheduled sufficiently in advance to take advantage of offered discount rates, unless otherwise authorized by the Contracting Officer. DTFT60-10-R-00009 Department of Transportation Federal Transit Administration
10/20/10, 11:41 AM